UK Banks and Building Societies:
SMCR For Certified Staff
The price for this course: £42.00 £31.50
UK Banks and Building Societies:
SMCR For Certified Staff
The price for this course: £42.00 £31.50
45 mins
0.75 points
This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK incorporated Banks and Building Societies, including the Certification Regime and the Conduct Rule.
This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators
Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a UK Bank or Building Society
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a UK Bank or Building Society
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a UK Bank or Building Society
• Understand how Conduct Rules apply to a Certified Person at a UK Bank or Building Society
• Understand the risks of contravening the SMCR regime as a Certified Person at a UK Bank or Building Society
• Achieve 0.75 CPD points
This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
Purchasing, Onboarding & Volume Discounts
Course outline
-
Introduction to the SMCR Framework
- What happened?
- Senior Managers and Certification Regime (SMCR)
- The aims of SMCR -
How SMCR applies to a Certified Person
- Three elements
- How does the PRA and the FCA apply SMCR to my employer?
- What this course covers -
The Certification Regime - an introduction
- Introduction
- What are the Certified Functions?
- Scope
- The FCA Directory
- Check your understanding -
Issuing certificates
- What does certification involve?
- The fit and proper test
- Honesty, integrity and reputation
- Competence and capability
- Financial soundness
- Regulatory references
- Check your understanding -
Conduct Rules
- Conduct Rules
- More about the Conduct Rules
- Code of conduct breaches
- Check your understanding -
What are the risks to you?
- Some risks to you
- What else should you be aware of?
- Check your understanding -
Quiz
80% Pass Mark
-
Conclusion
- Hints and tips
- Conclusion
- Further information & downloading your certificate
The price for this course:
£42.00 £31.50
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